Personnel Hong Kong SFC License Details (ID 77221)

Personnel Hong Kong SFC License Details (ID 77221)

Key Data SFC Licenses Public Disciplinary Actions

SFC licenses

A person without a starting date was in that role since at least 1-Apr-2003, when the current register began.

Show old organisation names

Current only

Organisation	Role	Activity	From	Until
J.P. MORGAN BROKING (HONG KONG) LIMITED	RO	Advising on futures contracts	2020-01-13	-
	RO	Dealing in futures contracts	2020-01-13	-
	Rep	Advising on securities	2015-11-18	2016-10-31
	Rep	Dealing in securities	2015-11-18	2016-10-31
	Rep	Advising on futures contracts	2015-11-18	2020-01-13
	Rep	Dealing in futures contracts	2015-11-18	2020-01-13
Credit Suisse (Hong Kong) Limited	Rep	Advising on securities	2014-02-06	2015-08-19
Credit Suisse Securities (Hong Kong) Limited	Rep	Dealing in securities	2013-01-21	2014-11-11
Credit Suisse (Hong Kong) Limited	Rep	Providing automated trading services	2010-03-04	2013-11-01
	Rep	Dealing in futures contracts	2010-03-04	2015-08-19
	Rep	Dealing in securities	2010-03-04	2015-08-19
Morgan Stanley Asia Limited	Rep	Providing automated trading services	2006-06-16	2007-02-28
	Rep	Dealing in securities	2006-06-16	2007-02-28
Morgan Stanley Hong Kong Futures Limited	Rep	Providing automated trading services	2006-06-16	2007-02-28
	Rep	Dealing in futures contracts	2006-06-16	2007-02-28